division 31 –earthwork & grading - trellis type: “earthwork & grading” for g round up...

Floor Plans 1243, 1337 & 1997 Earthwork & Grading

1405 E. McDowell Road, Phoenix, AZ 85006

PROJECT BIDDING DOCUMENT for a 1,243 SF, 1,337 SF & 1,997 SF

Single Family Home

DIVISION 31 –EARTHWORK & GRADING


Introduction:

Trellis (the Owner), invites all qualified parties to provide a LUMP-SUM BID to complete the Earthwork & Grading improvements for a 1,243 SF, 1,337 SF and a 1,997 SF single-family residence located at lots: 9, 10, 11, 12, 18, 19, 20 & 27 ("The Project"). All sealed bids must be delivered to Trellis’ office in a sealed envelope with “Bid: Montana Bella Subdivision, Earthwork & Grading” written in the lower left hand corner on, or before June 23, 2016 at 4:00 PM. Bids will not be accepted later than the specified time unless all Bidders are notified of an extension by Bid Addendum. The presentation of a Bid constitutes the Bidder’s acknowledgement and acceptance of all Conditions and Provisional Requirements connected to this Project, and any Final Contract Agreement. The terms and final agreement, if any, will be for a negotiated fixed price to complete the full scope of work herein in accordance with the Project Requirements and Exhibits that encompass these Bidding Documents. This Bidding Document is structured as follows:

-Introduction (above) -Project Summary & Floor Plan -Bidding Instructions -Contractors Qualification Statement -The Bid Form & Scope of Work

Exhibit A – Construction Requirements Exhibit B – Alternates (not used) Exhibit C – Approved Grading Plan, Plot Plan Survey

Foundation Plan & Soils Report Exhibit D – Form of Contract Exhibit E – Insurance Requirements Exhibit F – Fund Control Policy Exhibit G – Supplemental General Conditions Exhibit H – HUD Section 3 Exhibit I – Request for Information


Bid Instructions: The intent of these documents is to facilitate the Bidders ability to account for all labor, materials, equipment and service of every kind necessary for the proper execution of the work under Contract, and fully contemplate the requirements, terms and conditions under a Contract thereof.

1. Examination of Property, Documents, Plans, Drawings, Specifications and Scope of Work: a. Copies of all Bid documents are on file at http://trellisaz.org/building/projects-open-to-bid/.

b. To report problems obtaining bidding documents, contact the Trellis Project Manager at 602-424-5344 or via e-mail at: [email protected].

c. Full sized sets of plans are available at the Bidders expense at Perkinson Reprographics, located at 735 East Brill St, Phoenix, AZ 85006 (602) 393-3131, http://www.priplans.com/public.php

d. By presenting Trellis with a Bid, the Bidder represents that they have carefully examined and fully familiarized themselves with the Bidding Documents, Plans, Drawings, Specifications, Scope of Work, subject property and intrinsic site characteristics associated with the Project. Neither the Owner nor the Architect assumes responsibility for errors or misinterpretations resulting from the use of incomplete sets of documents. Further, by the submission of a Bid, the Bidder represents that they have completed their own due diligence examinations, have capable and qualified resources in place and are ready to execute the Project as presented within 10 days of Owner notification to proceed.

e. The Bidder shall be responsible for contemplating the cost of all unusual conditions or deviations, which exist at the time of their examination. No extra compensation will be allowed for any matter or thing, concerning which the Bidder might have fully informed themselves prior to submitting a bid. In cases where the scope of work, specification or approved plans run in conflict, the more stringent shall apply and/or prevail.

f. In cases where material components, equipment or both are unintentionally omitted or overlooked and are a necessary feature for a complete job, Bidders are obligated to notify the Trellis Project Manager of the circumstance. Additions, deletions or clarification to matters related to Scope of Work, Specification and Bidder Requirements must be filed with the Owner on the Request for Information Form (Exhibit I ) provided herein. Each request will be addressed through a Bid Addendum, issued by the Trellis Project Manager. Items not brought to the attention of the Owner during the bidding period shall be done in accordance with the Architect’s interpretation “for the good of the work” and in accordance with the intent and meaning of the design, project objectives and goals.

g. Any Addenda issued by the Trellis Project Manager during the Bid Process are considered to be part of any Final Agreement. Failure to acknowledge receipt of any/all Addenda in the space provided on the Bid Form does not relieve the Bidders obligation to provide for those provisions and Addends in their Bid as presented.

2. Bidder Qualification Criteria: a. Bidders will be of professional caliber, duly licensed and in good standing with the appropriate

regulatory agency(ies), in the State they are practicing business. Bidders are required to furnish a material supplier and Subcontractor list (if used) to Trellis listing all resources intended for use on the Project.

b. All Bidder resources (subcontract or otherwise) are held accountable to meeting the same standards of qualifications that are required of the Bidder. Trellis maintains the right to reject any of the Bidders affiliates failing to meet the qualification standards set forth in the bidding documents. Upon any written rejection by Trellis of Bidder affiliates, the Bidder must provide a suitably qualified alternate within 24 hours.

c. Complete the forms provided herein and attach copies of the following documents: 1. Copy of valid Contractors License. 2. Complete W-9, Federal Tax I.D. Number. 3. Copies of General Liability, Workers Compensation and Automobile Insurance

mailto:[email protected]

http://www.priplans.com/public.php

Floor Plans 1243, 1337 & 1997 Earthwork & Grading Certificates within the prescribed limits (see Exhibit E).

4. A copy of Maricopa County Dust Control Permit. 5. Material Supplier & Subcontractor Resource List. 6. A copy of the Company’s Safety Plan 7. HUD Section 3 (see Exhibit H)

3. Submitting Bids:

a. Late Bids will not be accepted. Trellis reserves the right to waive irregularities in the Bid Forms and reject any Bid, in whole or in part, for failure to adhere to these instructions and/or meet the established qualification standards, either latent or otherwise.

b. Bids will ONLY be accepted on Attachment C - “Bid Form & Scope of Work”. Place the Bid Form on top of your submittal so that it is the first visible document when the package is removed from the envelope. A complete and acceptable Bid Form requires line item budgets for each task listed on the Scope of Work. Alterations to the Bid Form and Scope of Work beyond entering quantity adjustments, line item budgets and subtotals will disqualify the Bid. By furnishing Trellis with a Bid, the Bidder represents that figures provided by them constitute the full and complete costs of the Scope of Work, and is inclusive of all licensing fees, general overhead and profit. The Bid Form must be signed by the duly licensed Officer of the organization and free of any alterations beyond that which is described.

4. Owner Alternates:

a. Trellis is requesting Alternates with this project (Exhibit B). Line item pricing for these alternates are to be written on the scope of work specific to the alternate, but are not to be included in the total of the Bidder’s Lump Sum Price written on the Bid Form.

5. Withdrawal of Bids:

a. Bidders may withdrawal their Bid, either personally or by written notice at any time prior to the scheduled time for opening of the Bids.

6. Award or rejection of Bids: a. Award of Contract, if it be awarded will be to the lowest responsible and qualified Bidder. Any

such award will be made within thirty (30) calendar days after opening of the bid proposals.

7. Execution of Agreement a. The Bidder to whom award is made shall execute a written contract with Trellis. An

example of the form of contract contemplated for this project is attached as Exhibit D of the Bidding documents.

b. Upon award, but before execution of the Agreement, the Subcontractor shall without delay, provide Trellis with a Project Schedule within five (5) calendar days. Failure or refusal to enter into a contract, or to conform to any stipulated requirement in connection herein shall be just cause for annulment of the award.

c. Where Bidder is a corporation, proposals must be signed under the legal names of the Corporation followed by the name of the state of incorporation and legal signature of the licensed, qualified agent, who is authorized to bind the organization to Contract Agreements.


Statement of Qualifications


Contractor Qualification Statement Date: ______________ GENERAL COMPANY INFORMATION:

Company Name: ______________________________________________________________________ DBA:_________________________________________________________________

□ Corporation □ Partnership □ Limited Liability Corporation □ Individual If Corporation, list the State where the Company is incorporated: ________________________________

Company Address: ___________________________________________________________________

City: ______________________________ State: _______ Zip Code:_________________

Office Phone No. ( ) Office Fax No. ( )

Email Address: ________________________________________________________________________

Principal Contact Name: ____________________________________ Title: ______________________

E.I.N #:_________________________________ T.P.T. #: ___________________________________

DUNS #:________________________________ AZ ROC License No.______________________

License Classification (s): ___________________ Company Principals:

Name & Address Title SSN#

Number of years in business as this entity: ________ Has the Company name ever changed? □ – Yes □ – No If yes, what was the original name? ________________________________

Number of persons on Company payroll. _____ Full-time _____ Part time

Companies annual Gross Receipts (2-year average). $______________.00 Has the Company ever filed a Bankruptcy? □ – Yes □ – No If yes, provide the following: Case#_______________ Chapter_____ Has the Company had any claims, liens, judgments or complaints filed against it in the last 7-years? □ – Yes □ – No If yes, provide brief explanation and disposition: __________________________________________________________________________________________

Floor Plans 1243, 1337 & 1997 Earthwork & Grading ____________________________________________________________________________________________________________________________________________________________________________________________________________

PROJECT REFERENCES:

Project Name/Location Owner/GC Name, Address & Contact Information Type of Project Dollar Amount

of Contract

_____________________

_____________________

_____________________

_____________________

_____________________

_____________________

Ph. No.

( )

□ – New Commercial

□ – Tenant Improvement

□ – New Residential

□ – Remodel/Rehab.

□ – Other: ___________________

$_________.00

_____________________

_____________________

_____________________

_____________________

_____________________

_____________________

Ph. No.

( )





□ – Other: ___________________

$_________.00

_____________________

_____________________

_____________________

_____________________

_____________________

_____________________

Ph. No.

( )





□ – Other: __________________

$_________.00

BUSINESS BANKING RELATIONSHIP:

Name & Address of Institution Types of Account

Check all that apply:

Average Monthly Balance

_________________________________

_________________________________

_________________________________

□ – Business Checking

□ – Business Savings

□ – LOC w/Limit of $____________.00

□ – Other: _______________

$_________.00

$_________.00

$_________.00

$_________.00

SUPPLIER REFERENCES:

Supplier Name Supplier Address Contact Name Supplier Phone No.

__________________________

________________________

________________________

_______________ ( )

______________

__________________________ ________________________

________________________

_______________ ( )

______________


__________________________

________________________

________________________

_______________ ( )

______________

__________________________

________________________

________________________

_______________ ( )

______________

COMPANY STATEMENT:

Provide a brief statement such as experience of co-workers, including officers and other information that demonstrate the Bidders ability to work in residential rehabilitation, property improvement or construction. _____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

SIGNATURE AUTHORIZATION:

Name(s) authorized to sign Contracts, Bids, Change Orders and Endorsements.

_____________________________________________________________________________________ Name Title

_____________________________________________________________________________________ Name Title

_____________________________________________________________________________________ Name Title


Bid Form & Scope of Work

Exhibit A – Construction Requirements

Exhibit B – Alternates (not used)

Exhibit C – Approved Grading Plan, Plot Plan Survey,

Foundation Design & Soils Report

Exhibit D – Form of Contract

Exhibit E – Insurance Requirements

Exhibit F – Fund Control Policy

Exhibit G – Supplemental General Conditions

Exhibit H – HUD Section 3 Exhibit I – Request for Information


Lump-Sum Bid Form PROJECT ADDRESS: Lot 10, 18 & 20 PROJECT TYPE: “Earthwork & Grading” for ground up construction of a 1,243 SF Single Family Residence. This Invitation to Bid does not automatically qualify the prospective Bidder for consideration. This bid is for residential improvements in conformance with jurisdictional Building Codes and Trellis standard specifications as provided and described in the bidding documents.

LUMP SUM PROJECT BID: BASE BID

1. Having examined the Contract Documents, and Addenda Nos. [ ] through [ ] (enter zero if none), for the above-referenced project, having ascertained all of the conditions affecting the proposed work and having visited the site, we do hereby propose to furnish all supervision, labor and materials, transportation, services and equipment necessary for, and/or reasonably incidental to the construction and proper completion of the work called for by the above-named documents for the sum of: ($ ___________________) & /100 Dollars hereinafter referred to as the Lump-Sum Bid. (the Bid includes all materials, delivery, labor, taxes, cash allowances and insurance costs.)

2. I/We attest by submission of our Bid that we have fully familiarized ourselves with and understand the required scope of work, specifications and details necessary to execute the above captioned activity (ies) in their entirety. I/We also assert that any and all clarifications, Addenda and/or exclusions have been adequately addressed and/or meet with our satisfaction, and that we will not request to increase the contract amount because of our failure to determine the final design intent, materials and scope of the work.

3. BID VALIDITY DATE I/We agree to hold our bid open for 30 days from Bid closing date.

4. CONSTRUCTION-TIME SCHEDULE Substantial completion of the activity (ies) included in this Bid will be __________ consecutive calendar days after construction start.

5. START OF CONSTRUCTION I/We agree to commence work within (5) five days after written Notice to Proceed.

6. SIGNATURES

The undersigned hereby certifies that they are a duly licensed Subcontractor by the State of Arizona; that such license will be in full force and effect throughout the duration of the construction, that any and all tradespeople, suppliers or Subcontractors to be employed on the project will be licensed and/or properly trained and that licensed responsible managing employees shall in fact supervise the work during construction.


Lump-Sum Bid Form

PROJECT ADDRESS: Lot 19 PROJECT TYPE: “Earthwork & Grading” for ground up construction of a 1,337 SF Single Family Residence. This Invitation to Bid does not automatically qualify the prospective Bidder for consideration. This bid is for residential improvements in conformance with jurisdictional Building Codes and Trellis standard specifications as provided and described in the bidding documents.







6. SIGNATURES



Lump-Sum Bid Form

PROJECT ADDRESS: Lots 9, 11, 12 & 27 PROJECT TYPE: “Earthwork & Grading” for ground up construction of a 1,997 SF Single Family Residence. This Invitation to Bid does not automatically qualify the prospective Bidder for consideration. This bid is for residential improvements in conformance with jurisdictional Building Codes and Trellis standard specifications as provided and described in the bidding documents.







6. SIGNATURES



Name of individual members of Bidders firm who will perform work on the Project:

_______________________________________ _________________________ Name of Individual Position/Title



Business Type (check one): ( ) Individual Sole/Proprietor ( ) Corporation ( ) Partnership ( ) Registered MWBE ( ) Limited Liability Corporation

Type of License:______________ No. issue date:

Maricopa County Dust Permit SC#

If Corporation:

Name of President: ___________________________________________________

Corporation organized under the laws of the State of:_______________________

Bid dated this day ____________________ of____________________________

Signed by (Qualifying Party):

Print Name and Title: ____________________________________________________________ _

Legal Address:

______________________________________________ __________________ Officers Signature Date: MM/DD/YR ______________________________________________ __________________ Business Name Subcontractors License No. ______________________________________________ __________________ Business Address Contact Phone No.


THE SCOPE OF WORK

SCOPE OF WORK 6/2/2016

Bidding Date:

Initial:

FLOOR PLAN TYPE

Address: Lots 9, 10, 11, 12, 18, 19, 20 & 27 DIVISION 31 - Earthwork & Grading

A&ELocation: 1 -

Spec #

By Owner

00.01-40 BUILDING PERMITS & FEES

Unless specifically stated otherwise in the Bidding Documents, the Owner is responsible for Building Permit procurement

and payment of fees.

00.01-42 PLANS & SPECIFICATIONS Full sized copies of the approved plans are available at the Bidders expense. The Plan Room for this project is located at:

PRI Graphics (602) 393-3131

735 E Brill St, Phoenix, AZ 85006

http://www.priplans.com/public.php

or, electronic copies of the approved plans can be viewed and downloaded from

http://www.nhsphoenix.org/project_bidding.html

Upon contract award, the successful Bidder/Subcontractor will be furnished with applicable permits, approved plans,

specifications, engineering calculations, and shall maintain all documents and inspection records in a good and responsible

manner. Project records maintained by subcontracors shall be available upon demand throughout the course of operations.

All Contractors are responsible for tracking minor changes or field adjustments to the approved plans. Owner to be

furnished with copies of "as-built" notes and plan change details, prior to release of retention funds.

If required, the Owner shall be responsible for any resubmission of plans to governing authorities and payment of fees

therein.

00.01-43 ENGINEERING CONSULTANTS

The Owners Consultants on this project are:

MILLER LAND SURVEYING - SURVEY

VANN ENGINEERING - SOILS

BINGHAM ENGINEERING - STRUCTURAL

ARDEBILI BORUM ENGINEERS - MECHANICAL, ELECTRICAL, PLUMBING

EARTHWISE BUILDING SCIENCE GROUP - ENERGY RATER

These consultants while acting on behalf of the Owner as independent third-party representatives on this project, have the

authority to supplement the General Conditions, Construction Requirements or Scope of work due to unforeseen field

conditions, or as circumstances dictate. Routine inspection and approval of work products during installation is required

from these consultants throughout the course of construction. It is the responsibility of the Subcontractor to know and

schedule their own monitoring and inspection needs.

Page 1 of 5

1243, 1337 & 1997


Location: 2 - General Requirements

Spec #

00.01-11 CONSTRUCTION DEFINITIONS "Owner" means NHSP Holdings, LLC, Trellis, Trellis Community Development, Trellis Construction, LLC, or assigned

designee.

"General Contractor" means Trellis Construction, LLC, or assigned designee.

"Bidder" means contractor, subcontractor. The Qualified Individual or Firm, awarded the Contract and engaged by the

Owner/General Contractor to complete a specific Scope of Work herein, in its entirety, their tradesmen, personnel, material

suppliers and/or specialty vendors.

" Install or Construct" means to fabricate, assemble, set up, test and warrant new material components, pieces of

equipment or devices.

"Provide means to purchase, furnish, deliver.

00.01-12 VERIFY QUANTITIES/MEASUREMENTS

By presenting the Owner/General Contractor with a Bid, the Bidder represents that they have carefully examined and fully

familiarized themselves with all Bidding Documents, Plans, Drawings, Specifications, Scope of Work and intrinsic site

characteristics associated with this Project. Further, by submission of a Bid, the Bidder represents that they have

completed their own due diligence, meet the Bidder Qualification criteria, and have capable and qualified resources in place

to execute the Scope of Work as presented herein.

The Scope of Work and Specifications shall be compared with the Approved plans and specifications. Bidders are

responsible for contemplating all costs and/or unusual conditions as part of their due diligence.

In cases where specifications, material components or equipment are unintentionally omitted or overlooked, and are a

necessary feature for a complete job, Bidders are obligated to notify the Owner's Project Architect of the circumstance

before submitting a bid. Additions, deletions or clarification matters related to the Scope of Work, Specifications or Project

Requirements are to be addressed through a Bid Addendum and submitted to the Owner's Project Manager for response.

Any Addenda issued during a Bid Process are considered to be part of any Final Agreement. Failure to acknowledge

receipt of any/all Addenda in the space provided on the Bid Form does not relieve the Bidders obligation to provide for those

provisions and Addenda in their final Bid.

All measurements, quantities and units provided herein are for the Bidder's / Contractor's convenience and are NOT to be

relied upon. By presenting the Owner with a Bid, the Bidder represents that they understand the design intent, compared the

Scope of Work with the plans and have fully contemplated all physical needs required to fully complete the Scope of Work.

No claims for additional funds due to discrepancies in quantities, specification content, or design inadequacies will be

entertained if not submitted during the Bidding period.

00.01-13 CODES AND ORDINANCES

All work performed under Contract shall fully comply with Housing and Urban Development (HUD) Standards for Housing,

2012 International Building Code (I.B.C.), 2012 International Residential Code (I.R.C.), 2012 International Mechanical Code

(I.M.C.), 2012 Uniform Plumbing Code (U.P.C.), 2011 National Electric Code (N.E.C.), 2012 International Plumbing Code

(I.P.C.), 2012 International Fuel Gas Code (I.F.G.C.), 2012 International Fire Code (I.F.C.), 2012 International Energy

Conservation Code (I.E.C.C.), 2012 International Green Construction Code (I.G.C.C.), 2012 National Green Building

Standard ICC 700-2012, and all current City of Phoenix amendments and zoning ordinances.

All work under this Contract is subject to inspection by the local municipality governing authorities.

00.01-19 * ENERGY & GREEN BUILDING REQUIREMENTS

The Owner engaged a third-party Building Performance Institute (BPI) certified, Home Energy Rater and Verifier to conduct

energy modeling and perform an analysis for establishing specific design characteristics of this structure. The purpose of

the study establishes a baseline energy efficiency rating. Specific energy requirements, material applications, installation

methods and resource management criteria contained herein work in concert to the approved plans and specifications.

The baseline energy standards for this structure are designed to produce a HERS index of 64, or less, and a "Silver"

National Green Building Standard rating from the Home Innovation Research Laboratory.

Page 2 of 5


Location: 2 - General Requirements

Spec #

Award of this contract serves as acknowledgement and acceptance of the obligation to comply with the projects

performance criteria and quality standards. This obligation extends to all subcontractors, tradespeople, material suppliers

and specialty vendors working on this project.

Progressive inspections of work components during construction by the Project Energy Consultant are MANDATORY in

order to successfully obtain the targeted certification stating that all improvement recommendations and performance

standards for project were satisfactorily completed.

00.01-20 * CONSTRUCTION WASTE MANAGEMENT

This project has a Construction Waste Management Plan. A copy of this plan will be posted on site with enforcement and

participation incumbent by all project personnel, subcontractors, suppliers, specialty vendors and tradespeople.

All paper, cardboard, glass, plastic, metal and plant waste materials must be sorted, held in separate containers picked-up

and/or hauled to a local recycling center. The goal is to recycle a minimum of 50% (by weight) of project waste. Failure to

properly recycle project waste as specified can result in forfeiture of retention funds.

All non-recyclable or otherwise non-renewable debris shall be removed and disposed of in a legal landfill, or as required by

EPA and local regulations.

00.01-29 COST CONTROL

Any and all additional or change order work outside of the Scope of Work requires preapproval prior to the performance of

the work.

Where and when unit pricing for a particular line item of work is already defined through the Project Documents, the extra

work will be paid at the quoted rate for that item, which includes overhead and profit.

In cases where unit pricing is not established on the Scope of Work or contemplated during the Bid process, the default rate

will be based on the hourly rate schedule stated below, plus materials, and a 15% markup allowance O&P.

BIDDER TO PROVIDE THE HOURLY LABOR RATES AS FOLLOWS:

Superintendent = $__________________

Operating Engineer = $ __________________

Skilled Technician = $__________________

Apprentice = $__________________

Laborer = $__________________

00.01-30 * BIDDER ACKNOWLEDGEMENT

By signature below and by submission of a Bid Form, Bidder acknowledges, understands and accepts all Construction

Requirements, Instructions, Specifications and Supplemental Conditions described herein, together with Exhibits A - H

and/or and any other enumerated documents to which constitute "The Project Requirements"

The Bidders figure presented in this line item represents the Bidders full and complete costs of all Project Requirements

connected to the project, whether or not specifically mentioned elsewhere in this scope of work.

BIDDER: __________________________________________________

Page 3 of 5


Location: 3 - Earthwork & Grading

Quantity Units Unit Price Total PriceSpec #

Trade: 4 Site Work

00.31-31 CLEARING & GRUBBING 16,578.00 SF ________ ________

Scrape, grub and clear ground surface free of oversized rock, cobble, low-lying vegetation, weeds and debris. Remove,

haul and dispose of spoils in a legal landfill.

LOCATION: Entire Property.

00.31-35 1.00 LSGRADING - COMPACTION & TESTING ________ ________

Coordinate and schedule testing and inspections from the Project Soils Engineer as folows:

1) Over excavation, placement & recompaction of building pad

2) Bottom excavation of foundation trenches

3) Subgrade - House slab

4) Concrete sampling and testing

5) Utility trench backfill

6) Subgrade - Driveways & sidewalks

All earthwork is to be performed in strict compliance with the Soils Engineer's recommendations as detailed in the Project

Soils Report dated 4/14/14 and attached herewith as Exhibit C.

LOCATION: Entire Property.

________00.31-36 GRADING - OVER EXCAVATION 7,849.00 CF ________ Cover and protect concrete sidewalks, curbs, cross-gutters, driveway approaches and asphalt street paving from equipment

or load damage. Safe-off, sign and maintain safety controls of work area at all times. Redirect vehicular and pedestrian

traffic as necessary. Maintain control over airborne dust in compliance with the Approved Dust Control Plan.

Before disrupting ground surfaces, moisture condition soils 24 hours in advance of operations. Excavate and stockpile

onsite fill material to prescribed depth and limits using conventional grading equipment. Spread, test and compact

subgrade in 6 inch successive lifts, in compliance with the Soils Engineer's recommendations (Exhibit C).

Each lift requires testing and inspection, minimum compaction density requirements are 95%, and limits of over-excavation

extend 5 feet beyond building footprint and beneath the driveway and sidewalks. Import acceptable fill material as

necessary to provide for positive sheet flow drainage directed away from structure in compliance with the Approved Grading

Plan dated 6/27/05, and site gradients depicted therein (Exhibit C). All work is to be performed in a controlled environment,

under direct supervision of the Soils Engineer. Load, haul, remove and dispose of any surplus soils or debris from the

property. Leave premises in a clean, ready-for-construction condition.

LOCATION: Per Soils Engineer.

Location Total: ____________

Page 4 of 5

Total for Address: Lots 9, 10, 11, 12, 18, 19, 20 & 27, Division 31 - Earthwork & Grading: ____________

___________________________________________Bidder:

Page 5 of 5


Exhibit A Construction Requirements


Exhibit A CONSTRUCTION REQUIREMENTS

SECTION 02300 EARTHWORK

PART 1 - GENERAL

1.1 DESCRIPTION

1. Work Included: Excavate and grade in the areas designated in the Contract Documents as shown on the grading plan and specified herein, which shall include, but not be limited to, the following:

1) Excavation and site preparation.

2) Grading to establish subgrades for slabs, walks, pavements, gravel surfaces, and grassed areas.

3) Excavation, filling and backfilling and compaction.

4) Dewatering or addition of water as required.

5) Placing of topsoil and finish grading.

2. Related Sections: Additional Sections of the Documents which are referenced in this Section include:

1) Section 02315 - Excavation, Backfilling, and Compacting for Structures

2) Section 02317 - Excavation, Backfilling, and Compacting for Utilities

3) Section 02921 - Seeding

1.2 REFERENCES

1. General: The work shall comply with the most recent standards or tentative standards as published at the date of the contract and as listed in this specification using the abbreviation shown.

2. American Society for Testing and Materials (ASTM):

1) D 698 Test Method for Laboratory Compaction Characteristics of Soil Using Standard Effort (12,400 ft-lbf/ft)

2) D 1556 Standard Test Method for Density and Unit Weight of Soil in Place by the Sand-Cone Method

3) D 1557 Standard Test Methods for Laboratory Compaction Characteristics of Soil Using Modified Effort (56,000 ft-lbf/ft3)(2,700 kN-m/m3)

4) D 2167 Standard Test Method for Density and Unit Weight of Soil In Place by the Rubber Balloon Method

5) D 2216 Standard Test Method for Laboratory Determination of Water (Moisture) Content of Soil and Rock by Mass

6) D 2487 Standard Classification of Soils for Engineering Purposes (Unified Soil Classification System)

7) D 2922 Standard Test Method for Density of Soil and Soil-Aggregate in Place by Nuclear Methods (Shallow Depth)

8) D 2937 Standard Test Methods for Density of Soil in Place by the Drive-Cylinder Method 9) D 3017 Standard Test Method for Water Content of Soil and Rock in Place by Nuclear Methods

(Shallow Depth) 10) D 4318 Standard Test Method for Liquid Limit, Plastic Limit, and Plasticity Index of Soils 11) 303 Earthwork

1.3 DEFINITIONS

1) Controlled Fill: Controlled fill is fill required in all areas on which final grade is not placed on original excavated soil.

2) Unclassified Excavation: For the purposes of payment, material shall not be classified except for those items specifically listed in the soils report.

Floor Plans 1243, 1337 & 1997 Earthwork & Grading 3) Unsuitable Material: For the purposes of classified excavation, unsuitable material shall be defined

as material below subgrade elevation that exhibits excessive pumping or that does not meet density requirements due to unsatisfactory material as determined by Geotechnical Engineer.

4) Satisfactory Materials: Materials classified by ASTM D 2487 as GW, GP, GM, GC, SW, SP, SM, SC, ML, and CL are satisfactory as fill for overlot grading and are satisfactory in-situ. Materials shall have a minimum compacted density of 95 pounds per cubic foot and a plasticity index in excess of 15.

5) Unsatisfactory Materials: Materials classified by ASTM D 2487 as OL, OH, MH, CH, and PT are unsatisfactory in-situ and as fill. Unsatisfactory materials also include those materials containing roots and other organic matter, trash, debris, frozen materials, and stones larger than 6 inches. Fill materials containing stones larger than 3 inches shall not be used in the uppermost 2 feet.

6) Cohesionless and Cohesive Materials: Cohesive materials include materials classified as GC, SC, ML, CL, MH, and CH. Cohesionless materials include materials classified in ASTM D 2487 as GW, GP, SW, and SP. Materials classified as GM and SM will be identified as cohesionless only when the minus #40 fraction has a plasticity index of zero as classified by ASTM D 4318.

7) Degree of Compaction: Degree of compaction is a percentage of the maximum density obtained by the test procedure presented in ASTM D 698 or ASTM D 1557 as specified, abbreviated below as a percent of laboratory maximum density.

8) Topsoil: Material obtained from excavations, suitable for topsoils shall consist of friable clay loam, free from roots, stones, other undesirable material and shall be capable of supporting a good growth of plant material.

9) Geotechnical Engineer: A representative of a commercial geotechnical testing laboratory which will be used by the Subcontractor to provide the required quality assurance testing.

1.4 SYSTEM DESCRIPTION

1) Soil Bearing Capacity: Soil underneath all footings and structures shall have a minimum bearing capacity as the Geotechnical Engineer and detailed in their soils report (Exhibit B).

1.5 SUBMITTALS

1) General: Copies of all test results and field and office worksheets shall be furnished to the Owner within 72 hours after the tests are complete.

2) Test Reports: The testing agency shall submit the following reports, in duplicate, directly to the Owner from the testing services, with a copy to the Subcontractor.

a) Test report on borrow material for soil classification. b) Field density reports and map of test location. c) One optimum moisture-maximum density curve for each type of soil used for controlled fill. d) Other reports of any testing hereinafter specified deemed necessary by Soils Engineer or

requested by the Owner. e) A test location plan shall be included with each submittal.

1.6 QUALITY ASSURANCE

1) Geotechnical Engineer: The Owner has retained a licensed independent Geotechnical Engineer and Test Laboratory to insure that earthwork meets the requirements of the specifications for density and moisture content. The Geotechnical Engineer shall attend the Pre-Construction Conference. The Subcontractor is responsible for scheduling periodic site visits by the Geotechnical Engineer to facilitate testing and verification of work in place.

2) Inclement Weather: When fill operations are ceased due to weather (rain, freezing, snow, etc.), construction shall not be resumed until the Geotechnical Engineer has verified soil strength has not been adversely affected. If soil strength has been decreased, the affected portion of fill shall be rescarified, moistened, or dried as required and recompacted to the specified density.

3) Inspection: The Subcontractor shall conduct daily inspections and more often if necessary to verify that the specifications are being met for the installation of materials.

4) Coordination: The Subcontractor shall coordinate the work with the Owner's Inspector by notifying the Inspector of scheduled work in advance. The Subcontractor shall coordinate work with other trades whose work will be affected on the site.

5) Utilities: Prior to any excavation, the Subcontractor shall verify the locations of all utilities which may be in the area.

6) Drainage: The Subcontractor shall be responsible for the proper drainage of the site during construction of the project. Water shall not be allowed to accumulate in any of the excavated areas.

Floor Plans 1243, 1337 & 1997 Earthwork & Grading Storm or ground water collecting on site during construction shall be removed by pumping, ditching, or other suitable means.

1.7 PROJECT CONDITIONS

1) Topographic Survey: Topographic information and boundary survey is by Miller Surveying, Inc. (Exhibit B)

2) Test Borings: A subsurface investigation has been made at the site of the project in order to ascertain character of materials to be excavated. This information is provided for general information only. Attention is directed to the fact that these logs indicate materials encountered at boring locations only. Nothing in plans or specifications shall be taken as a guarantee that materials other than those disclosed by borings will be encountered or that proportions of various materials will not vary from those indicated. If the Subcontractor has any questions or desires additional information it is their responsibility to acquire this information at their own expense. All excavation for project is to be considered and bid as "unclassified" and no allowances will be made for rock encountered or removal and replacement of unsuitable material.

3) Existing Utilities: Locate existing underground utilities in areas of work. If utilities are to remain in place, provide adequate means of protection during earthwork operations.

a. Should uncharted, incorrectly charted, unmarked in field, or incorrectly marked in the field, piping or other utilities be encountered during excavation, Subcontractor shall consult utility Owner immediately for directions. Subcontractor shall cooperate with Owner and utility companies in keeping respective services and facilities in operation, and shall repair or arrange for repair, damaged utilities to satisfaction of utility owner.

b. Subcontractor shall demolish and completely remove existing underground utilities as indicated on the plans and shall coordinate with utility companies for shut-off of services if lines are active.

4) Protection of Persons and Property: Barricade open excavations occurring as part of this work and post with warning lights.

a. The Subcontractor shall operate warning lights as recommended by authorities having jurisdiction.

b. The Subcontractor shall protect structures, utilities, sidewalks, pavements, trees and other facilities from damage caused by settlement, lateral movement, undermining, washout and other hazards created by earthwork operations.

c. The Subcontractor shall protect, maintain and restore bench marks, monuments, and other reference points affected by this work. If bench marks, monuments or other permanent reference points are displaced or destroyed, points shall be re-established and markers reset under supervision of a licensed Land Surveyor.

PART 2 - PRODUCTS

2.1 MATERIALS

1) Materials: All fill materials shall be free from mud, refuse, construction debris, organic material, rock or gravel greater than 6 inches in any dimension, frozen or otherwise unsuitable material. Materials for fills shall be secured from excavation after rejection of any unsuitable materials. Materials from other sources may be used upon approval by the Geotechnical Engineer. Fill materials in the uppermost 2 feet shall not have any rocks larger than 3 inches in diameter.

2) Borrow: Material for use in replacing undercut areas or in construction of embankments shall be approved by the Geotechnical Engineer and obtained from approved sources.

3) Rock: Rock shall be removed to a minimum depth of 12 inches below the subgrade elevation. The excavated area shall be brought up to subgrade with approved material placed and compacted as described herein.

4) Unsuitable Materials: Areas that exhibit excessive pumping or that do not meet density requirements due to unsuitable material as determined by Geotechnical Engineer shall be undercut and replaced with approved material in accordance with PART 3, EXECUTION.

PART 3 - EXECUTION

3.1 TOPSOIL

1) Conservation of Topsoil: Topsoil shall be removed as required without contamination with subsoil, and stockpiled convenient to areas for later application or at locations specified. Any surplus of topsoil from excavations and grading shall be stockpiled in a location approved by the Owner. A silt fence shall be installed on the downslope side and the stockpiles seeded.

Floor Plans 1243, 1337 & 1997 Earthwork & Grading 2) Placing Topsoil: On areas to receive topsoil, the compacted subgrade shall be scarified to a 2 inch

depth for bonding of topsoil with subsoil. Topsoil then shall be spread evenly and graded to the elevations and slopes shown. Topsoil shall not be spread when frozen or excessively wet or dry. All areas disturbed by work in this project shall be seeded in accordance with Section 02921 - Seeding.

3.2 EXCAVATION

1) Excavation: Excavation shall be unclassified except for those items specifically indicated in soils report. After topsoil removal has been completed, excavation of every description, regardless of material encountered, within the grading limits of the project shall be performed to the lines and grades indicated. Satisfactory excavation material shall be transported to and placed in fill areas within the limits of the work. All unsuitable material including any soil which is disturbed by the Subcontractor's operations and surplus material shall be disposed of at locations off site secured by the Subcontractor and approved by the Owner. Excavations carried below the depths indicated, shall, except as otherwise specified, be refilled to the proper grade with satisfactory material as directed. All additional work of this nature shall be at the Subcontractor's expense, unless otherwise provided for in the bidding documents. Excavation and filling shall be performed in a manner and sequence that will provide drainage at all times. Excavations shall be kept free from water while construction therein is in progress. If the Subcontractor fails to provide adequate drainage and any material becomes soft or otherwise unsuitable as a result, such material shall be removed and replaced with satisfactory on-site material or borrow material from approved sources, or shall be dried and recompacted as directed by the Geotechnical Engineer at no additional cost to the Owner.

2) Excavation for Structures: Excavation shall be in accordance with Section 02315 – Excavation, Backfilling, and Compacting for Structures.

3) Excavation for Utilities: Trenches for underground utilities systems and drain lines shall be in accordance with Section 02317 - Excavation Trenching and Backfilling for Utilities.

4) Unauthorized Excavation: a. Unauthorized excavation consists of removal of materials beyond indicated subgrade elevations

or dimensions without specific instruction from the Owner or the Geotechnical Engineer. b. Under footings or foundations, fill unauthorized excavations by extending the indicated bottom

elevation of the footing or base to the unauthorized excavation bottom, but in no way altering the required top elevation.

c. Elsewhere, backfill and compact unauthorized excavations as specified for authorized excavations, unless otherwise directed by the Geotechnical Engineer.

5) Stability of Excavations: Maintain sides and slopes of excavations in a manner such that the excavation provides safety of personnel, protection of work, and compliance with requirements of governmental agencies having jurisdiction.

3.3 FILL

1) Preparation of Ground Surface for Fill: All vegetation such as roots, brush, heavy sods, heavy growth of grass, and all decayed vegetative matter, rubbish, and other unsatisfactory material within the area upon which fill is to be placed, shall be stripped or otherwise removed before the fill is started. In no case will unsatisfactory material remain in or under the fill area. The areas shall then be scarified to a depth of at least 6 inches, moistened or aerated as required and compacted with vibratory rollers, pneumatic rollers, sheepsfoot rollers or other mechanical means acceptable to the Geotechnical Engineer. Sloped ground surfaces steeper than one vertical to four horizontal on which fill is to be placed shall be plowed, stepped, benched, or broken up, as directed, in such manner that the fill material will bond with the existing surface. Prepared surfaces on which compacted fill is to be placed shall be wetted or dried as may be required to obtain the specified moisture content and density.

2) Fills and Embankments: Fills and embankments shall be constructed at the locations and to lines and grades indicated. The completed fill shall conform to the grading plan indicated. Approved material obtained during excavation may be used in forming required fill. Fill shall be satisfactory material and shall be free from roots, other organic material. No frozen material will be permitted in the fill. Stones having a dimension greater than 3 inches shall not be permitted in the upper 2 feet of fill or horizontal embankment. The material shall be placed in successive horizontal layers of 8 inches in loose depth for the full width of the cross section and shall be compacted as specified. Each layer shall be compacted before the overlaying lift is placed. Moisture content of the fill or

Floor Plans 1243, 1337 & 1997 Earthwork & Grading backfill material shall be adjusted by wetting or aerating as necessary to provide the moisture content specified.

3) Backfilling Structures: Backfilling for structures shall be in accordance with Section 02315 – Excavation, Backfilling, and Compacting for Structures.

3.4 COMPACTION

1) Subgrade Compaction: The cut subgrade material shall be compacted to 100 percent of its maximum dry density as determined by ASTM D 698. The moisture content should be within +/-5 percentage points of the material's optimum as determined by ASTM D 2216.

2) Compaction: Each layer of the fill shall be compacted to at least 95 percent of the maximum theoretical density as determined by ASTM D 698. Moisture content shall be within +/-2 percent points of optimum as determined by ASTM D 2216. The top 1-foot of fill under pavement areas shall be compacted to 98 percent of maximum dry density as determined by ASTM D 698.

3.5 FINISHED GRADES

1) General: All areas covered by the project, including excavated and filled sections and adjacent transition areas, shall be uniformly smooth-graded. The finished surface shall be reasonably smooth, compacted, and free from irregular surface changes. The degree of finish shall be that ordinarily obtainable from blade-grader operations, except as otherwise specified. Ditches and gutters shall be finished to permit adequate drainage.

2) Unsatisfactory Material: Soft or otherwise unsatisfactory material shall be replaced with satisfactory excavated material or other approved materials.

3) Finished Elevations: Low areas resulting from removal of unsuitable material or from excavation of rock shall be brought up to required grade with satisfactory materials, and the entire area shall be shaped to line, grade, and cross section and shall be compacted as specified. The surface of embankments or excavated areas for road construction or other areas on which a base course or pavement is to be placed shall vary not more than 0.10 feet from the established grade and approved cross section. Surfaces other than those to be paved shall be finished not more than 0.20 feet above or below the established grade or approved cross section.

3.6 PROTECTION

1) Site Preservation: The Subcontractor shall protect newly graded areas from traffic, erosion, settlement or washout that may occur from any cause; prior to acceptance shall be repaired and reestablished to the required gradients. All work shall be conducted in accordance with the Erosion Control provisions of these specifications.

3.7 FIELD QUALITY CONTROL

1) Testing: Testing shall be the responsibility of the Subcontractor and shall be performed by an approved commercial testing laboratory qualified to perform such tests and approved by the Engineer. Tests conforming to ASTM D 698, shall be made by the Geotechnical Engineer or his representative on each soil type found in the areas prepared to receive fill and in the soil to be used for fill. Field Density tests shall be made by the Geotechnical Engineer or his representative in accordance with ASTM D 1556 or ASTM D 2922 and ASTM D 3017 on the areas prepared to receive fill and on each layer of compacted fill. Testing shall be the responsibility of the Subcontractor and shall be performed at no additional cost to the Owner. When ASTM D 2922 is used, the calibration curves shall be checked and adjusted if necessary by the procedure described in ASTM D 2922, paragraph “ADJUSTING CALIBRATION CURVE”. ASTM D 2922 results in a wet unit weight of soil and when using this method, ASTM D 3017 shall be used to determine the moisture gauges along with density calibration checks as described in ASTM D 3017. ASTM D 2937 shall be used only for soft, fine-grained, cohesive soils. At least one test shall be performed on the compacted backfill. More tests shall be performed if in the judgment of the Inspector or Owner the compactive effort of the Subcontractor will not result in the specified density.

2) Testing Frequency: The following submittals are required. a. A minimum of one moisture-density test shall be performed for each classification of fill material,

and existing subgrade material. b. One Atterberg limits test and one gradation analysis is required for every six field density tests. c. Field density tests shall be performed as follows: a minimum of one test per lift per 5,000 square

feet or fraction thereof is required for fill material and a minimum of one test per lift per 5,000 square feet or fraction thereof is required for subgrades prior to filling.

Floor Plans 1243, 1337 & 1997 Earthwork & Grading 3) Visual Inspection: Upon completion of all excavation of unsuitable material, and for all footings, the

Geotechnical Engineer shall visually inspect the subgrade and excavations. The visual inspection shall be conducted to assure that the data obtained from the test borings and used as a basis of design was representative of the site conditions. Upon completion of the inspection, the Geotechnical Engineer shall provide written notification to the Owner.

4) Proof Rolling: Following visual inspection, Subcontractor shall demonstrate to the Geotechnical Engineer that the exposed subgrade does not contain previously unidentified soft areas by proof rolling. Proof rolling shall consist of rolling the entire surface with approved mechanical equipment while observing the subgrade for displacement or deformation.

END OF SECTION


Exhibit B Alternates

NOT USED FOR THIS DISIPLINE


Exhibit C Approved Grading Plan, Plot Plan, Foundation Design & Soils Report


Exhibit D Sample Form of Contract


Exhibit E Insurance Requirements


Exhibit E – Insurance Requirements INDEMNIFICATION CLAUSE: The Subcontractor agrees to indemnify and hold harmless NHSP Holdings, LLC, Trellis (formerly Neighborhood Housing Services of Phoenix), Trellis Community Development, Trellis Construction, LLC, herein referred to as the “Owner”, its officers, agents and employees, and any jurisdiction or agency issuing permits for any work included in the project, their officers, agents and employees, hereinafter referred to as indemnities, from all suits and claims, including attorney's fees and cost of litigation, actions, loss, damage, expense, cost or claims of any character or any nature arising out of the work done in fulfillment of the terms of this Contract or on account of any act, claim or amount arising or recovered under workers' compensation law or arising out of the failure of the Subcontractor to conform to any statutes, ordinances, regulation, law or court decree. It is agreed that the Subcontractor will be responsible for primary loss investigation, defense and judgment costs where this contract of indemnity applies. In consideration of the award of this contract, the Subcontractor agrees to waive all rights of subrogation against the Owner or its officers, officials, agents and employees for losses arising from the work performed by the Subcontractor for the Owner.

INSURANCE REQUIREMENTS: Contractors and Subcontractors shall procure and maintain until all of their obligations have been discharged, including any warranty periods under this Contract are satisfied, insurance against claims for injury to persons or damage to property which may arise from or in connection with the performance of the work hereunder by the Subcontractor, his agents, representatives, employees or Subcontractors.

The insurance requirements herein are minimum requirements for this Contract and in no way limit the indemnity covenants contained in this Contract.

The Owner in no way warrants that the minimum limits contained herein are sufficient to protect the Subcontractor from liabilities that might arise out of the performance of the work under this Contract by the Subcontractor, his agents, representatives, employees, or Subcontractors. Subcontractor is free to purchase such additional insurance as may be determined necessary.

A. MINIMUM SCOPE AND LIMITS OF INSURANCE – Subcontractor shall provide coverage with limits of liability not less than those stated below. An excess liability policy or umbrella liability policy may be used to meet the minimum liability requirements provided that the coverage is written on a “following form” basis.

1. Commercial General Liability – Occurrence Form

Policy shall include bodily injury, property damage, coverage.

broad form contractual liability and XCU

• General Aggregate $2,000,000 • Products – Completed Operations Aggregate $1,000,000 • Personal and Advertising Injury $1,000,000 • Each Occurrence $1,000,000 a. The policy shall be endorsed to include the following additional insured language: NHSP

Holdings, LLC, Trellis (formerly Neighborhood Housing Services of Phoenix), Trellis Community Development, Trellis Construction, LLC shall be named as an additional insured with respect to liability arising out of the activities performed by, or on behalf of the Subcontractor, including completed operations".


2. Automobile Liability Bodily injury and property damage for any owned, hired, and non-owned vehicles used in the performance of this Contract.

Combined Single Limit (CSL)

$1,000,000

a. The policy shall be endorsed to include the following additional insured language: NHSP Holdings, LLC, Trellis (formerly Neighborhood Housing Services of Phoenix), Trellis Community Development, Trellis Construction, LLC shall be named as an additional insured with respect to liability arising out of the activities performed by, or on behalf of the Subcontractor, including automobiles owned, leased, hired or borrowed by the Subcontractor".

3. Worker's Compensation and Employers' Liability Workers' Compensation Statutory

Employers' Liability

Each Accident $100,000

Disease – Each Employee $100,000

Disease – Policy Limit $500,000

a. Policy shall contain a waiver of subrogation against Neighborhood Housing Services of Phoenix, Inc.

b. This requirement shall not apply when a Contractor or Subcontractor is exempt under A.R.S. 23- 901, AND when such Contractor or Subcontractor executes the appropriate sole proprietor waiver form.

B. ADDITIONAL INSURANCE REQUIREMENTS: The policies shall include, or be endorsed to include, the following provisions:

1. On insurance policies where the Owner is named as an additional insured, NHSP Holdings, LLC, Trellis (formerly Neighborhood Housing Services of Phoenix), Trellis Community Development, Trellis Construction, LLC shall be additional insured to the full limits of liability purchased by the Subcontractor even if those limits of liability are in excess of those required by this Contract.

2. The Subcontractor’s insurance coverage shall be primary insurance and non-contributory with respect to all other available sources.

C. NOTICE OF CANCELLATION: Each insurance policy required by the insurance provisions of this Contract shall provide the required coverage and shall not be suspended, voided or canceled except after thirty (30) days prior written notice has been given to the Owner, except when cancellation is for non- payment of premium, then ten (10) days prior notice may be given. Such notice shall be sent directly to:

Trellis 1405 E. McDowell Road, Suite #100

Phoenix, AZ 85006

ATTN: Director of Real Estate Development

D. ACCEPTABILITY OF INSURERS: Insurance is to be placed with insurers duly licensed or authorized to do business in the state of Arizona and with an “A.M. Best” rating of not less than B+ VI. The Owner in no way warrants that the above-required minimum insurer rating is sufficient to protect the Subcontractor from potential insurer insolvency.


E. VERIFICATION OF COVERAGE: Subcontractor shall furnish the Owner with certificates of insurance (ACORD form or approved equivalent) as required by this Contract. The certificates for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf.

All certificates and any required endorsements are to be received and approved by the Owner before work commences. Each insurance policy required by this Contract must be in effect at or prior to commencement of work under this Contract and remain in effect for the duration of the project. Failure to maintain the insurance policies as required by this Contract or to provide evidence of renewal is a material breach of contract.

All certificates required by this Contract shall be sent directly to:

Trellis 1405 E. McDowell Road, Suite #100

Phoenix, AZ 85006

ATTN: Director of Real Estate Development

The project/contract number, property address and project description shall be noted on the certificate of insurance. The Owner reserves the right to require complete, certified copies of all insurance policies required by this Contract at any time.

F. APPROVAL: Any modification or variation from the insurance requirements in this Contract shall be made by the Law Department, whose decision shall be final. Such action will not require a formal Contract amendment, but may be made by administrative action.


Exhibit F Fund Control Policy

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Exhibit F DISBURSEMENT POLICY & PROCEDURE AGREEMENT

Trellis is committed to ensuring that prudent project management on behalf our donors and stakeholders is maintained throughout the project. All construction projects are administrated in the best interest and on behalf of the Organization. Our fiduciary duty is to produce a successful project that is lien free and constructed in compliance with the Approved Scope of Work, Plans and Specifications. Your obligation as the Subcontractor is to provide the same; therefore, a cooperative relationship is essential in meeting our similar objectives. Supplemental to the provisions listed in the General Conditions and Contract Agreement, and specific to the procedures, formats, forms, and documents to be provided to Trellis as a condition of, and pre-requisite to, the approval and disbursement of funds under the terms of the Contract Agreement the following stipulations apply to this project:

1. Unless instructed otherwise, the following disbursement policy will be utilized during the construction period. Trellismay at any point, exercise their rights under the Agreement to modify the disbursements as deemed necessary to protect their interests. Failure to observe the following may result in more restrictive procedures, including, but not limited to, individual payments directly to Subcontractors or Vendors.

2. In the event of conflict between the following provisions, the more restrictive will prevail.

3. During the administration, control and disbursement of funds, Trellis does not have the latitude to

approve disbursements of funds except as obligatory reimbursements in accordance to the Contract Agreement, per the Structured Draw Schedule, under Article 12 of the Contract Agreement. Discretionary disbursements of funds under which there is no obligation to make, require pre-approval by the Owner prior to appearance on a Draw Request.

4. Each disbursement request is subject to satisfaction of the conditional requirements identified below,

together with any supplemental requirements developed during the course of construction. THE FOLLOWING DISBURSEMENT PROCEDURES WILL APPLY:

1. Preliminary 20 Day Notices may be sent directly to Trellis. 2. Disbursements of funds will only be considered so long as the Project remains diligently prosecuted, free of liens,

stop notices and encumbrances. 3. Trellis will furnish the Subcontractor with a pre-formatted Excel Spreadsheet. All Draw Request are to be

submitted to the Owner using the formatted spreadsheet provided. 4. The Subcontractor will advise Owner with 5-days advance notice of the point to which the project approaches

meeting the requirements of each successive Draw. Subject to the satisfaction of any conditional and supplemental requirements, and once a Draw Request is received in an acceptable and approved format, that includes all required supportive documents, Trellis will schedule a Draw Inspection to occur in conjunction with that weeks construction progress meeting.

5. All draw packages and disbursement of funds are subject to Owner approval. Once the Draw Request is properly

submitted and accurate in content (w/ disbursement request form, invoices, correct lien waiver, material receipts if

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self-performed etc.), and the inspection is complete and approval signatures are obtained, disbursement of funds is made generally within 3-5 days. Allow a 10-15 day full processing and approval.

6. Under normal circumstances, and unless the Subcontractor has made their own arrangements to pick-up checks, a single reimbursement check will be mailed directly to the Subcontractor for reimbursement and/or distribution to their vendors and material suppliers.

7. Checks will be mailed via: USPS to:

TBD

8. The Subcontractor will be solely responsible for providing; maintaining and mailing copies all necessary

Federal/State Tax Identification forms (W-9 & 1099’s) for payments made to Subcontractors or Material Suppliers and W-2 forms for individual payments.

9. The FINAL Draw will only be released 30-days after recordation of a “Notice of Completion”, receipt of

“Unconditional Final Lien Releases” from all material suppliers, vendors and/or Subcontractors for Full Contract Amounts, copies of all final projects documents i.e. Inspection Records, Certificate of Occupancy and 2 copies of the Project Close-out Documents.

10. Trellis may require other methods or procedures for disbursement of funds if deemed necessary to protect their

interests, as allowed by or required by the provisions of the Construction Agreement. The preceding policies outlined in this document are standard. You will be notified of supplementary conditions or program requirements (if any). By signature of the Subcontractor in the space provided below, the Subcontractor acknowledges Trellis’ obligations and responsibilities as defined above and agrees to and accepts the above conditions, which in concert with the Contract Document govern disbursement of funds subsequent to execution of a Final Contract Agreement. All records are open to random audit, thus all project documents are to remain readily accessible when requested for a (7) year period. Prior to any disbursement of funds, the following submittals are required:

1) Signature by Subcontractor, in the space provided below, acknowledging and agreeing to the above outlined provisions. 2) Owner’s receipt of “Approved” Plans, Specifications and Building Permits.

ACKNOWLEDGEMENT/AGREEMENT: ____________________________________ ____________ Subcontractor Date

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Exhibit G

Supplemental General Conditions of the Contract Agreement

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Exhibit G SUPPLEMENTAL GENERAL CONDITIONS

OF THE CONTRACT AGREEMENT 001.01 SUBCONTRACTOR PRE-BID SITE VISIT No Bid will be accepted without a Pre-Bid visit to the property. It is the Bidder's responsibility to make arrangements for visiting the property to examine the conditions thereon. Visits to the property can be scheduled by contacting the Owner at 602-424-4024. 001.04 MANUFACTURER’S COMPLIANCE All materials shall be installed in full compliance with the manufacturer's specifications for working conditions, surface preparation, methods, protection and testing. 001.05 SELECTION OF FINISHES The Owner shall select finish, colors, styles & types of materials from pre-mixed, in stock options. The Subcontractor shall submit to the Owner, color samples, cut-sheets of the in stock options for their selection and approval prior to project mobilization. 001.06 SUBSTITUTION APPROVAL PROCESS Any requests for material substitutions of specified proprietary items must accompany the Bid proposal and shall include: the manufacturer's specifications; full installation instructions, product catalogues, cut-sheets, brochures, unit prices, warranties and/or photos. The Owner will notify the Subcontractor of their decision upon award of the contract. 001.07 NEW MATERIALS REQUIRED All materials used in connection with this project are to be new, of first quality and without defects - unless stated otherwise or pre-approved by Owner. 001.08 WORKMANSHIP STANDARDS The Subcontractor shall: 1. See that all work is performed by mechanics skilled in their respective trades and in accordance with the best

practices of the trade and in compliance with all applicable codes. 2. Provide competent superintendence on the project at all times. 3. Keep, maintain and provide the Owner with copies of all respective job site Records, Daily Activity Logs, Batch

Tickets, Bill of Lading and Post all Federal and Jurisdictionally Required Notices. 4. Perform the work without unnecessary interfering with the Owner's activities. 5. Protect all surfaces as long as required to eliminate damage. 6. Maintain a working standard in compliance with the manufacturer's specifications, Standard Trade Practices and

ROC Rule 4-9-108 Minimum Guidelines of Workmanship. Likewise, the Owners maintain the right to reject material product and work in place that does not meet with their satisfaction. Materials and/or workmanship failing to meet the Owners acceptance and Approval shall be replaced at the Subcontractors expense. Acceptance of materials and/or workmanship by the Owner prior to completion of the contract does not relieve the Subcontractor from the obligation to produce materials and/or workmanship in first class condition at completion and acceptance of the project.

7. Notify the Owner 2-weeks in advance of their intent to request Final Inspection.

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001.09 CODES AND ORDINANCES All work performed under Contract shall fully comply with 2006 International Building Code (ICC), 2006 International Residential Code (IRC, 2005 National Electric Code (NEC), 2006 Uniform Plumbing Code (UPC), 2006 International Mechanical Code (IMC), 2006 International Energy Conservation Code (IECC), 2006 International Fire Code, and all Zoning Ordinances. All work under this Contract is subject to inspection by the local municipality governing authorities. Environmentally sensitive operations regarding lead-based paints, asbestos and hazardous waste removal are governed by, and shall be executed in compliance with Federal Environmental Protection Agency (EPA), Arizona Department of Environmental Quality (ADEQ) and local jurisdictional protocols and procedural dictates. 001.10 BUILDING PERMIT REQUIRED The Owner is responsible for procuring and paying for and completing any permit application and submittals to the municipal authority, procuring and paying for all applicable building permits prior to starting any work. 001.11 CLOSE-IN INSPECTIONS REQUIRED The Subcontractor is responsible for contacting the appropriate municipal authority for progressive and final inspection of all work that will be concealed from view before it is closed in. During the course of construction, the Subcontractor shall notify the Owner of any concealed conditions or repairs outside of the Scope of Work which become necessary for satisfactory completion of the project. Concealed conditions, which become evident during the path of construction shall be photographed and reported at the earliest possible moment, and prior to covering the particular area of concern. 001.16 ENERGY STAR FIXTURE & EQUIP. RATING All work performed and fixtures used on this project will be of the highest available Energy Star rating available at the time of construction. 001.17 CERTIFY ELECTRICAL SERVICE Electrician to inspect all wiring, sub-feeds, conduit, wiring insulation, panels, breakers and boxes for malfunction, shorts and housing code compliance. Check for the safe operation of all light switches, outlets, fixtures and fans. Certify the safe and compliant condition of the Electrical Fire/Life Safety systems after work is complete. 001.18 CERTIFY WATER & WASTE SERVICE Plumber to certify safe and sanitary condition of water supply and waste discharge in compliance with the national and local plumbing code referenced herein under the General Conditions section.

001.26 2-YEAR GENERAL WARRANTY In addition to all warranty stipulations set out elsewhere in the Agreement, the Subcontractor warrants that the work performed conforms to the contract requirements and is free of any material or workmanship or defect whether performed by the Subcontractor or any of their Subcontractors and suppliers. Such warranty shall continue for a period of two years from the date of Final Inspection and acceptance by the Owner. Under this warranty the Subcontractor shall remedy at their own expense, any damage to Owners and/or end user's controlled real or personal property, when damage is the result of the Subcontractor or their Subcontractors failure to conform to Contract Provisions for any such defect in equipment, material workmanship or design. In addition to the other rights and remedies provided by this clause, all Subcontractors', manufacturers' and suppliers' warranties, expressed or implied, with respect to any work and/or material components, shall be furnished to the Owner in their completed form. The Subcontractor assumes the full and complete responsibility for all Subcontractors' guarantees and completed manufacturers warranties being delivered to the Owner as part of project close-out and Final Retention Payment. The warranty specified herein shall not limit the Owner's rights under the Inspection and Acceptance clause of the Agreement with respect to latent defects, gross mistake, or fraud.

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001.28 CERTIFICATE OF OCCUPANCY Prior to final payment, the Subcontractor shall comply with and complete all items necessary to receive a Certificate of Occupancy for the project. 001.29 PROJECT CLOSE OUT Prior to any Final Payment, the Subcontractor shall provide to the Owner a "Project Closeout Manual” containing Building Dept. Permits, Inspection records, Certificate of Occupancy, Subcontractor Warranty Statements, completed Manufacturers Warranty Registrations and Owners Manuals. 001.32 PRE-CONSTRUCTION WALK-THRU The Subcontractor and the Owner will perform a walk-thru of the property together to clarify the work to be performed before construction begins. At the Preconstruction Walk-Thru, The Subcontractor will provide the Owner with a copy of their organization's OSHA Compliant Safety Plan, together with copies of MSDS Sheets for specified products to be used at the property during the path of renovation. All work shall be supervised by a qualified individual in compliance with the Occupational Safety and Health Act of 1970. 001.34 WORK TIMES Subsequent to execution of a Contract Agreement, the Subcontractor shall have full and free access to all parts of the premises during the hours of 8:00 AM to 5:00 PM unless otherwise stated. Should this access be limited in any way by the Owner, the Subcontractor will be notified in advance so adjustments can be made. Unless otherwise called to the site, observation and/or inspection of the work by the Owner, their agents and public authorities will be coordinated in advance, and/or limited to weekly progress meetings when necessary. 001.36 JOB BEHAVIOR The following behaviors in any worker will not be permitted and may result in the Owner terminating the Contract for cause: Insubordination towards the Owner or Public Authority, drug or alcohol use, robbery or theft, safety violations, neglectful acts, abusive or intolerant language, fighting, eating or consuming beverages inside of residences and playing loud music on the premises. 001.38 JOB SIGN Job signage requires Owner approval and must be installed as directed. 001.40 WORK SITE CONDITIONS & DEBRIS REMOVAL The Subcontractor shall submit and implement a salvage and recycle plan and take all reasonable and practical actions to separate non-environmentally sensitive renewable waste product (i.e. woods, metals, glass and plastics) for donation or haul away by a local recycling agency. All construction debris shall be removed from the jobsite daily and/or contained in a proper container at the end of each day. Building interiors will be kept in a "broom" cleaned condition at all times. Food and beverages are not allowed inside during construction. 001.42 MATERIAL INVENTORY & CODE LEGAL LANDFILL CERTIFICATION For each class of demolition material, the Subcontractor shall provide an inventory list of materials and/or components donated or recycled and include the organization or agency name and quantity of materials they accepted. The Subcontractor shall certify that all remaining non-environmentally sensitive building materials otherwise not donated or recycled was disposed of in a legal landfill, and in compliance with local, state and federal requirements for permanent disposal. In this instance, weight load tickets from the landfill site shall suffice as the certification instrument.

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001.50 SECURITY The Subcontractor shall take all prudent and reasonable precaution to insure that all materials, products and fixtures are protected from vandalism and/or theft. The Subcontractor is responsible for maintaining constant weather protection against wind, rain and other elements and to maintain work, material, apparatus, and fixtures, free from injury or collateral damage. The Subcontractor shall adequately protect the work, adjacent property and the public at all times of operations, and is responsible for damage or injury due to acts of negligence. Damages or losses attributable to aforementioned conditions are not a chargeable cost to the Owner, and time frame extensions to the Project Schedule for these circumstances will not be considered.

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Exhibit H – HUD Section 3

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HUD Section 3 Preferences & Reporting Requirements: Section 3 is a provision of the Housing and Urban Development (HUD) Act of 1968, which recognizes that HUD funds are typically one of the largest sources of federal funding expended in communities through the form of grants, loans, entitlement allocations and other forms of financial assistance. Section 3 is intended to ensure that when employment or contracting opportunities are generated through the use of HUD funds, to the greatest extent feasible, preference be given to low and very low income persons or to business concerns that provide such opportunities to low and very low income residents.

This Program is geared toward the benefit of the Bidder. One advantage it that is allows for is up to a 9% variance between the Section 3 Qualified Bidder against a lower, non-section 3 qualified Bidder. Qualifying your company as a HUD Section 3 participant is easy, it benefits our community and also can become a deciding factor in winning the Contract Award.

There are three primary methods available to Bidders whereby HUD Section 3 compliance and participation can be satisfied. The “HUD Section 3 Requirements” section, provided herein, contains the Title 24, Section 135.38 Regulation, together with forms, additional instruction and exhibits to be completed by the Bidder for qualification and compliance purposes. NOTE: Bidders do not have to have hiring needs in order to win the Contract Award. However, ALL Bidders MUST complete the “Statement of Workforce Needs” Form.

Failure to do so will result in Bid disqualification.

The first method of qualifying as a HUD Section 3 Bidder is through already employing or hiring persons that are a Section 3 resident.

• A “Section 3 resident” is a person who within the last 3-years has received: 1) any public housing or

state sponsored assistance programs; or 2) is classified as a low or low-low income person earning less than 80% of the Area Median Income (AMI) in which the Section 3 covered dollars are expended.

In this method Bidders need to survey their employees and have them complete the form entitled “Resident Employment Opportunity Data”, for each person who meets the qualification criteria of the table below.

2015 Income Limits – Maricopa County, Arizona 2015

Income 1

person 2

people 3

people 4

people 5

people 6

people 7

people 8

people 80% of Median $35,850 $41,000 $46,100 $51,200 $55,300 $59,400 $63,500 $67,600

The second method is Certification as a Section 3 Business.

• A Section 3 business concern is a business that can provide evidence that they meet one of the

following: • 51 percent or more owned by Section 3 residents; or • At least 30 percent of its full time employees include persons that are currently Section 3

residents as defined by the above, or within three years of the date of first employment with the business concern, qualified as Section 3 residents; or

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• Provide evidence, as required, of a commitment to subcontract in excess of 25 percent of the Contract dollars awarded to business concerns that meet the qualifications in one of the above two methods; or

• The Business plans to hire additional personnel for the project.

Bidders selecting this qualification method need to complete form entitled “Certification for Business Concerns Seeking Section 3 Preference in Contracting and Demonstration of Capability” and the “Resident Employment Opportunity Data” forms for each qualifying employee. If a commitment to subcontract in excess of 25% of the Contract dollars awarded is the approach, the Bidder and the Bidder’s subcontractors will need to complete and sign the above stated forms.

The third method is through participation in Community Outreach for the purpose of contributing to the database.

Bidders using this approach must demonstrate to the greatest extent feasible, that their firm has sought, solicited, advertised and pursued Section 3 qualified companies or individuals within the community where the project is located, for the purposes of gainful employment and/or contract opportunities. There are numerous ways that Bidders can demonstrate and document their outreach efforts. Bidders selecting this method should refer to the sheet entitled “Examples of Efforts to Award Contracts to Section 3 Business Concerns” of the “HUD Section 3 Requirements” section.

For additional information, or technical assistance regarding compliance with the statutory and regulatory requirements of Section 3, please refer to the following federal resources:

• www.hud.gov/section3 • Section 3 Statute – 12 U.S.C. 1701u • www.hud.gov/offices/cpd/communitydevelopment/programs/neighborhoodspg • E-mail questions or comments to: [email protected] • Contact: U.S. Department of Housing and Urban Development

Economic Opportunity Division 451 Seventh Street, SW Room 5235 Washington, DC 20410

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http://www.hud.gov/section3

http://www.hud.gov/offices/cpd/communitydevelopment/programs/neighborhoodspg

mailto:[email protected]


Title 24: Housing and Urban Development PART 135—ECONOMIC OPPORTUNITIES FOR LOW- AND VERY LOW-INCOME PERSONS Subpart B—Economic Opportunities for Section 3 Residents and Section 3 Business Concerns

§ 135.38 Section 3 clause.

All section 3 covered contracts shall include the following clause (referred to as the section 3 clause):

A. The work to be performed under this contract is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing.

B. The parties to this contract agree to comply with HUD's regulations in 24 CFR part 135, which implement section 3. As evidenced by their execution of this contract, the parties to this contract certify that they are under no contractual or other impediment that would prevent them from complying with the part 135 regulations.

C. The contractor agrees to send to each labor organization or representative of workers with which the contractor has a collective bargaining agreement or other understanding, if any, a notice advising the labor organization or workers' representative of the contractor's commitments under this section 3 clause, and will post copies of the notice in conspicuous places at the work site where both employees and applicants for training and employment positions can see the notice. The notice shall describe the section 3 preference, shall set forth minimum number and job titles subject to hire, availability of apprenticeship and training positions, the qualifications for each; and the name and location of the person(s) taking applications for each of the positions; and the anticipated date the work shall begin.

D. The contractor agrees to include this section 3 clause in every subcontract subject to compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as provided in an applicable provision of the subcontract or in this section 3 clause, upon a finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The contractor will not subcontract with any subcontractor where the contractor has notice or knowledge that the subcontractor has been found in violation of the regulations in 24 CFR part 135.

E. The contractor will certify that any vacant employment positions, including training positions, that are filled (1) after the contractor is selected but before the contract is executed, and (2) with persons other than those to whom the regulations of 24 CFR part 135 require employment opportunities to be directed, were not filled to circumvent the contractor's obligations under 24 CFR part 135.

F. Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions, termination of this contract for default, and debarment or suspension from future HUD assisted contracts.

G. With respect to work performed in connection with section 3 covered Indian housing assistance, section 7(b) of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b) requires that to the greatest extent feasible (i) preference and opportunities for training and employment shall be given to Indians, and (ii) preference in the award of contracts and subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises. Parties to this contract that are subject to the provisions of section 3 and section 7(b) agree to comply with section 3 to the maximum extent feasible, but not in derogation of compliance with section 7(b).

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http://law.justia.com/us/cfr/title24/24-1.2.1.2.10.html

http://law.justia.com/us/cfr/title24/24-1.2.1.2.10.2.html


RESIDENT EMPLOYMENT OPPORTUNITY DATA SECTION 3 INCOME VERIFICATION, SELF-CERTIFICATION

Date: Last 4 No.SSN Name: Last Name First Name M.I. Address: Street City Zip Male: Female: Phone No. _______________________ It is the policy of these employers to provide equal opportunity to all of the employees and applicants for employment and to ensure that there be no discrimination against any persons on the grounds of race, color, national origin, political affiliation, sexual preference, age, or sex. The following questions are for the purpose of tracking the hiring benefits of this project and are optional and will remain confidential. This information will not be made a part of your personnel records. Race/Ethnic Group (check) African American Am. Indian / Native American

Asian / Pacific Islander Caucasian Hispanic / Latino Other Annual Household Income (Please check one income box for your family size)

2015 Income Limits – Maricopa County, Arizona(80%AMI) Yearly Household Income Family Size Less than 1 $35,850 2 $41,000 3 $46,100 4 $51,200 5 $55,300 6 $59,400 7 $63,500 8 $67,600

This income can be verified by: Federal Income Tax Returns / W2s Pay Stubs / Other Income Stubs __________Housing Authority Recipient AHCCS, ALTCS, TANF, or Food Stamp

Certification and Agreement This information will be used to ensure compliance with U.S. Department of Housing and Urban Development Section 3 eligibility requirements. With your signature, you are certifying that the above information is correct to the best of your knowledge; falsifying information on this form is a federal offense. The penalty for making false statements is prescribed in the US Criminal Code 18 U.S.C. 1001. Signature: _________________________________________

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CERTIFICATION FOR BUSINESS CONCERNS SEEKING SECTION 3 PREFERENCE IN CONTRACTING & DEMONSTRATION OF CAPABILITY

Company Name:

Company Owner:

Address:

Phone: Fax: Email:

Business Type: Corporation Partnership Sole Proprietorship

SECTION 3 DETERMINATION:

If the answer to any of the questions below is YES, the business qualifies as a Section 3 Business Concern. Please provide the required documentation as needed to the Project Manager.

1. Is the business owned (51% or more) by individuals whose household incomes are NO GREATER THAN 80% of Area Median Income? (Please see Income Limits below)

Yes No

If yes, the business is considered a ‘Section 3 Resident-Owned Enterprise’. One form of documentation is needed for each of the business owners:

Federal Income Tax Returns W-2 Income Statements Paycheck Stubs Evidence of Public Assistance Other:

2. Do 30% (or more) of your full time, permanent employees have household incomes that are NO GREATER THAN 80% of Area Median Income? (Please see Income Limits below)

Yes No

If yes, the business is considered a Section 3 Business Concern. Please provide the following: List of all current Full Time employees Self-Certification Income Forms for all employees earning less than 80% of median income

3. Will you subcontract more than 25% of this contract with any business that is either 51% owned by Section 3 residents or 30% or more of its employees are Section 3 residents?

Yes No

If yes, please provide the following documentation: List of subcontracted Section 3 business(es) and subcontract amount. Evidence which identifies the subcontractor is considered a Section 3 Business Concern (Sections 1 and 2 above

provide examples of evidence to be used to identify a Section 3 Business Concern)

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2015 Income Limits / Maricopa County

FY 2015 Income Limit Area

Area Median Income

FY 2015 Income Limit Category 1 Person 2

Person 3

Person 4

Person 5

Person 6

Person 7

Person 8

Person

Maricopa County $64,000

Very Low (50%) AMI

$22,400 $25,600 $28,800 $32,000 $34,600 $37,150 $39,700 $42,250

Low (80%) AMI $35,850 $41,000 $46,100 $51,200 $55,300 $59,400 $63,500 $67,600

Moderate (120%) AMI

$53,800 $61,450 $69,150 $76,800 $82,950 $89,100 $95,250 $101,400

**NOTE: ALL BIDDERS MUST COMPLETE THIS SECTION OF THIS FORM.** Bidders do not have to have hiring needs in order to be selected for the Contract Award.

ESTIMATED PROJECT WORKFORCE BREAKDOWN

Job Category Total Estimated

positions needed (this project)

No. positions occupied by permanent

employees No. positions not

occupied

No. positions to be filled with Section 3 residents (this

project)

Officer/Supervisors Office/Clerical Technical Support Field Supervisors Tradesmen Trainees/Labor

General Contractor Certification Statement

I, the undersigned understand that this information will be used to ensure compliance with U.S. Department of Housing and Urban Development Section 3 eligibility requirements. By signature below, I am certifying that the above information is true and correct. The penalty for making false statements is prescribed in the U.S. Criminal Code 18 U.S.C. 1001. Additionally, U.S. Criminal Code Section 1010, Title 18 U.S.C. “Federal Housing Administration transactions” pro-vides in part “Whoever, for the purpose of... influencing in any way the action of such Administration...makes, utters or publishes any statement knowing the same to be false...shall be fined not more than $5,000 or imprisoned not more than two years or both.” Signature:_____________________________________ Date:_______________________

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HUD SECTION 3 COMMUNITY OUTREACH QUALIFICATION CRITERIA

Bidders using this approach must demonstrate to the greatest extent feasible, that their firm has sought, solicited, advertised and pursued Section 3 qualified companies or individuals within the community where the project is located, for the purposes of gainful employment or contract opportunity.

Examples of Efforts To Award Contracts to Section 3 Business Concerns:

(1) Utilizing procurement procedures for section 3 business concerns similar to those provided in 24 CFR part 905 for business concerns owned by Native Americans.

(2) In determining the responsibility of potential contractors, consider their record of section 3 compliance as evidenced by past actions and their current plans for the pending contract.

(3) Contacting business assistance agencies, minority contractors associations and community organizations to inform them of contracting opportunities and requesting their assistance in identifying section 3 businesses which may solicit bids or proposals for contracts for work in connection with section 3 covered assistance.

(4) Advertising contracting opportunities by posting notices, which provide general information about the work to be contracted and where to obtain additional information, in the common areas or other prominent areas of the housing development or developments owned and managed by the (HA) Housing Authority (see flyer example attached).

(5) For HAs, contacting resident councils, resident management corporations, or other resident organizations, where they exist, and requesting their assistance in identifying category 1 and category 2 business concerns.

(6) Providing written notice to all known section 3 business concerns of the contracting opportunities. This notice should be in sufficient time to allow the section 3 business concerns to respond to the bid invitations or request for proposals.

(7) Following up with section 3 business concerns that have expressed interest in the contracting opportunities by contacting them to provide additional information on the contracting opportunities.

(8) Coordinating pre-bid meetings at which section 3 business concerns could be informed of upcoming contracting and subcontracting opportunities.

(9) Carrying out workshops on contracting procedures and specific contract opportunities in a timely manner so that section 3 business concerns can take advantage of upcoming contracting opportunities, with such information being made available in languages other than English where appropriate.

(10) Advising section 3 business concerns as to where they may seek assistance to overcome limitations such as inability to obtain bonding, lines of credit, financing, or insurance.

(11) Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways to facilitate the participation of section 3 business concerns.

(12) Where appropriate, breaking out contract work items into economically feasible units to facilitate participation by section 3 business concerns.

(13) Contacting agencies administering HUD Youth-build programs, and notifying these agencies of the contracting opportunities. (14) Advertising the contracting opportunities through trade association papers and newsletters, and through the local media, such

as community television networks, newspapers of general circulation, and radio advertising. (15) Developing a list of eligible section 3 business concerns. (16) Establishing or sponsoring programs designed to assist residents of public or Indian housing in the creation and development

of resident-owned businesses. (17) Establishing numerical goals (number of awards and dollar amount of contracts) for award of contracts to section 3 business

concerns. (18) Supporting businesses which provide economic opportunities to low income persons by linking them to the support services

available through the Small Business Administration (SBA), the Department of Commerce and comparable agencies at the State and local levels.

(19) Encouraging financial institutions, in carrying out their responsibilities under the Community Reinvestment Act, to provide no or low interest loans for providing working capital and other financial business needs.

(20) Actively supporting joint ventures with section 3 business concerns.

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EXAMPLE OF TEXT FOR FLYER, POSTERS, OR NEWSPAPER ADVERTISMENT

Example 1: ATTENTION

Opportunities for Minority & Women-owned Business and Section 3 Businesses

[ your agency/company name here] is committed to promoting the participation of eligible and qualified low-income City of Phoenix residents in projects funded through the Community Block Grant Program (CDBG) HOME Program and ARRA Act, and other programs provided through the U.S. Department of Housing and Urban Development (HUD). In projects assisted through the above listed programs, the following business opportunities may be available to minority and women owned and Section 3 businesses through participating builders, contractors and other businesses along with various construction leads. [your agency/company name here] will encourage all participating contractors, and sub-contractors to utilize, to the greatest extent feasible qualified low-income persons for employment and training positions. Interested persons should contact:

[your agency/company name here] [your agency/company address here]

[your agency/company contact person name and phone number here] Example 2: ATTENTION

City of Phoenix Residents

Local Business and Employment Opportunities

[ your agency/company name here] is committed to promoting the participation of eligible and qualified low-income City of Phoenix residents in projects funded through the Community Block Grant Program (CDBG) HOME Program and ARRA Act, and other programs provided through the U.S. Department of Housing and Urban Development (HUD). In projects assisted through the above listed programs, the following business opportunities may be available to minority and women owned and Section 3 businesses through participating builders, contractors and other businesses along with various construction leads. [your agency/company name here] will encourage all participating contractors, and sub-contractors to utilize, to the greatest extent feasible qualified low-income persons for employment and training positions. Interested persons should contact:

[your agency/company name here] [your agency/company address here]

[your agency/company contact person name and phone number here]

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Exhibit I – Request for Information

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REQUEST FOR INFORMATION Limit RFI to one issue requiring response from Owner

Date:____________________________ Project:______________________________________________________________________________ Requesting Subcontractor:__________________________________________________________________

RFI Number (assigned by Owner)__________ 1. Reference Drawing(s) / Detail / Specification:_________________________________________ 2. RFI Question:

__________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Please Respond by Fax:________________________________

by E-mail:____________________________________________

REPLY / RESPONSE TO RFI

Date:_______________________ Response By:_________________________________________ Reply / Response: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Submit all RFI’s via facsimile to 602-258-1666 for response.

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